Peter W. Fick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter William Fick was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1986. Peter had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 87, Series 3, Series 7, Series 9, Series 10, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2004 - June 30, 2021
VALLEY FINANCIAL MANAGEMENT, INC.
November 17, 2004 - June 30, 2021
VALLEY FINANCIAL MANAGEMENT, INC.
December 17, 2003 - November 16, 2004
CANACCORD GENUITY SECURITIES LLC
October 20, 1997 - December 11, 2003
BARCLAYS CAPITAL INC.
September 13, 1996 - October 6, 1997
BOWLES HOLLOWELL CONNER & CO.
September 26, 1994 - September 23, 1996
CIBC WORLD MARKETS CORP.
January 23, 1991 - September 15, 1994
KIDDER, PEABODY & CO. INCORPORATED
May 1, 1987 - March 3, 1988
E. F. HUTTON & COMPANY INC
June 10, 1986 - August 20, 1986
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
VALLEY FINANCIAL MANAGEMENT, INC.
CRD#: 105387 / SEC#: 801-113685, 8-52993
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 8
Date: 10/24/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VALLEY FINANCIAL MANAGEMENT, INC.
CRD#: 105387 / SEC#: 801-113685, 8-52993
Contact information
SEC notice filing (13 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALLEY NATIONAL BANK | DIRECT PARENT OF APPLICANT | |
| CHITTENDEN, KEVIN L. | DIRECTOR | 8047906 |
| COLLERAN, JOSEPH ARTHUR III | PRESIDENT / CEO | 1010582 |
| GAWLEY, CHRISTOPHER JON | GENERAL COUNSEL | 4997190 |
| LAN, TRAVIS | DIRECTOR | 5190958 |
| MAYO, JAMIE | CHIEF FINANCIAL OFFICER | 3113603 |
| SCHULTZ, MELISSA JOSEPH | CHAIRPERSON | 1155034 |
| WILSON, CHRISTOPHER MICHAEL | CHIEF COMPLIANCE OFFICER | 5163915 |
Regulatory assets under management
| Total Number of Accounts | 60 |
| AUM (Assets Under Management) | $ 55,000 |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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